customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
___________________ Division 1 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for
Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for selling investment units
have the power to specify in its notification the rules with which derivatives business operators shall comply.
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
employee for the benefit of working. 2 “employer” means a person who agrees to recruit the employee to work by paying wages, notwithstanding whether it is a natural person or juristic person, and whether or
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.